Empress Smith is a Consultant at Bates Group with over 20 years of experience in financial services, compliance, and legal administration. She provides clients with licensing expertise, state and federal compliance support, and regulatory audit readiness. Prior to Bates, she served as Compliance Manager at Solar Mosaic and Astra Business Service and held senior roles in project management and legal operations at JPMorgan Chase and other institutions. Empress has deep experience working with FINRA, NMLS, and various state regulators, and specializes in licensing strategy, document compliance, and risk management.
Empress is a consultant and subject matter expert in these Practice Areas and Services:
-
AML & Financial Crimes
- Anti-Money Laundering
-
MSB, FinTech and Cryptocurrency
- MSB Consulting
- BSA/AML/OFAC Compliance
- Money Transmitter Licensing
- Virtual and Cryptocurrency Compliance
- Consumer Compliance / Consumer Lending
- BitLicense
Credentials
EXPERIENCE
Bates Group LLC, Consultant, 2023 - Present
Solar Mosaic, Inc., Regulatory Licensing / Compliance Manager, 2021 - 2023
Astra Business Service, Regulatory Licensing / Compliance Manager, 2015 - 2021
Place Services, Inc., Project Manager, Compliance Manager, 2013 - 2015
Cornerstone, Inc., Licensing Manager, 2010 - 2013
JP Morgan Chase Bank, Senior Contract Manager, 2003 - 2010
EDUCATION
Associate in Business Management (AS), Business Administration, Chattahoochee Technical College, Austell, GA
PROFESSIONAL QUALIFICATIONS/LICENSING
- Mortage Loan Originator (MLO)
- Nationwide Multistate Licenings System (NMLS)
- Certified Notary Public